Financial Advisory Compliance Specialist

University of Fort Hare; Somerset West; On-site; ZAR 400,000 - 500,000; Full time

Job summary

The University of Fort Hare in Somerset West is seeking a Compliance Checker/Reviewer to ensure that financial advice complies with regulations. You will conduct reviews, monitor compliance, and assist in audits, fostering a strong compliance culture within the firm.

The ideal candidate should have a relevant qualification, 3 years of experience in compliance, and strong analytical skills. Familiarity with regulatory frameworks and proficiency in MS Office are essential.

Qualifications

• 3 years experience in a compliance role within financial services / wealth management.
• Strong understanding of relevant regulatory frameworks.
• Ability to manage multiple file reviews.

Responsibilities

• Conduct compliance checks and quality reviews on financial advice files.
• Monitor adherence to relevant regulations.
• Identify and elevate compliance breaches, gaps, or risks.

Skills

Attention to detail

Analytical skills

Communication skills

Independence

Education

Relevant qualification in Compliance, Law, Finance, or related field

Tools

MS Office

Compliance management systems

Job description

The University of Fort Hare in Somerset West is seeking a Compliance Checker/Reviewer to ensure that financial advice complies with regulations. You will conduct reviews, monitor compliance, and assist in audits, fostering a strong compliance culture within the firm.

The ideal candidate should have a relevant qualification, 3 years of experience in compliance, and strong analytical skills. Familiarity with regulatory frameworks and proficiency in MS Office are essential.